Searching Content indexed under Compliance by Carlton Fields ordered by Published Date Descending.
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SEC Lightens Legal Load Of Mutual Fund Directors
The SEC staff now says that mutual fund directors can rely on chief compliance officer certifications in determining compliance with board procedures required by SEC exemptive Rules 10f-3, 17a-7,
United States
21 Dec 2018
Suitability Working Group Stirs Ingredients For Suitability Model Potion
On October 22 and 23, the NAIC Annuity Suitability (A) Working Group (Suitability WG) held an interim meeting to review comments received on the Suitability in Annuity Transactions Model Regulation ...
United States
30 Oct 2018
XBRL Amendments Have Limited Impact On Insurance Products
On June 28, the SEC amended existing requirements for public operating companies and mutual funds regarding the use of eXtensible Business Reporting Language (XBRL) for financial statement
United States
7 Oct 2018
New Tax Law Eliminates 30-Day Safe Harbor Against CFC Status
The recent tax law changes have focused primarily on corporate income tax, and in the international context, mostly on outbound tax matters
United States
9 Apr 2018
FINRA Requires Order Taker Registration
In late 2017, FINRA pronounced in Regulatory Notice 17-30 that, "Beginning on October 1, 2018, unregistered persons cannot accept an order from a customer under any circumstances.
United States
6 Apr 2018
SEC Adopts T+2 Securities Settlement Cycle
The shortened settlement cycle will impact many securities transactions by both retail and institutional investors.
United States
30 Mar 2017
Cybersecurity And Privacy Policy As A Board Of Directors Issue
Cybersecurity and privacy of customer information have become such a critical issues that in-house counsel should treat them as board of directors-level issues.
United States
25 Jan 2017
Cybersecurity Still Top FINRA Operational Risk
FINRA's 2017 letter aligns with the priorities laid out in both its 2016 Regulatory and Examination Priorities Letter and 2015 Cybersecurity Report...
United States
17 Jan 2017
Five Steps To Heading Off A Potential Lawsuit
Everyone has heard the saying that "an ounce of prevention is worth a pound of cure." For insurers, marketing organizations and agencies, that "ounce of prevention" includes establishing compliance procedures...
United States
14 Nov 2016
FINRA To Overhaul Gifts, Non-Cash Compensation, And Business Entertainment Rules
FINRA proposes to increase the gift limit in Rule 3220 from $100 to $175 per person per year and include a de minimis $50 threshold below which firms need not keep records of gifts given or received.
United States
7 Nov 2016
SEC Probes Share Class Recommendations
In July, the Securities and Exchange Commission's OCIE announced an initiative to identify instances where registered investment advisers may be improperly influenced by conflicts of interests...
United States
1 Nov 2016
Notice And Comment Like A Rock Star
Musicians know they've created a hit when thirty-somethings have known all the song's words since middle school.
United States
17 Oct 2016
UK's FCA Weighs In On Insurers' Use Of Big Data
On September 21, the United Kingdom's financial regulator, the Financial Conduct Authority (FCA)...
United States
26 Sep 2016
Changes To Florida's New Anti-Corruption Law Take Effect October 1
The Florida Legislature recently responded to growing concerns over public corruption in the state of Florida by amending Florida's Anti-Corruption Act
United States
9 Sep 2016
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